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Compliance Analyst

Salary: Competitive

Location:
New York, NY, USA

Job Type: Permanent, Full time

Company:
Tradeweb LLC

Updated on:
21 Mar 19

Compliance Analyst

Provide technical knowledge and advice, with strong working knowledge of regulation as well as familiarity with internal systems, processes and procedures ensuring that these fit together in a complex controls environment.

Develop effective partnerships with the front office personnel, Compliance colleagues and other Infrastructure areas to ensure consistency of compliance advice to the business.

Assist in annual regulatory and SRO examinations (e.g., SEC, FINRA, and NFA) and responding to regulatory inquiries that pertain to equity market matters.